MWBE - Compliance

Department of Design and Construction

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Industry Relations

M/WBE Opportunities

M/WBE Success Stories

Compliance

Industry Relations


We review compliance with applicable local laws

DDC’s Office of Diversity and Industry Relations monitors M/WBE Compliance to Local Law 1, Local Law 129, and Procurement Policy Board Rules (PPB). We also provide the administrative and logistical support required for adequate M/WBE utilization on DDC contracts.

Our compliance process begins when we establish and communicate the M/WBE Participation Goal. We attend events, meetings, and bid openings to communicate the M/WBE goal. To support compliance review and monitoring, we request documentation upon issuance of the NTP Letter, monitor the established goals, and issue a final assessment upon the completion of a project.

Compliance Forms

Affidavit of Payment Form

Annual List of Subconsultants (Annual LOS) Form

Annual List of Subcontractors (Annual LOS) Form

Initial List of Subconsultants (Annual LOS) Form

Initial List of Subcontractors (Annual LOS) Form

M/WBE Contractor Participation Letter

Prime Contractor/Consultant Payment Voucher Form

Request for Approval Subcontractor Form (RFAS)

Request for Approval Subconsultant Form (RFAS/C)

We determine and recommend appropriate M/WBE non-compliance actions.

DDC establishes the M/WBE utilization goal on a contract prior to advertisement. All prospective bidders are given an opportunity to request a waiver of the goal during the pre-bid process. However, once the waiver process is completed, the vendor is required to meet the agreed upon goal during the duration of the contract. DDC’s Office of Diversity and Industry Relations reviews the good faith effort documents and determines whether the M/WBE goal should be modified. This determination is then submitted to the Mayor’s Office of Contract Services (MOCS) for their approval. Upon advisement from MOCS, all requests for modification will only be granted if the agency has deleted any scope of work originally identified to be subcontracted to an M/WBE while the project is still in construction. If the Prime does not qualify for a modification of the goal, ODIR issues a determination and recommends the appropriate non-compliance enforcement action as provided by Local Law 1, including but not limited to the below chart.

Non-Compliance Actions (No Scope Deletion)

Monetary sanction of 10% of the shortfall
Assess actual and consequential damages.

Enter an agreement with the contractor allowing the contractor to cure the violation
Assess liquidated damages or reduction of fees, provided that liquidated damages may be based on amounts representing costs of delays in carrying out the purposes of the program.

Revoke the contractor's pre-qualification to bid or make proposals for future contracts.
Established by this section, or in meeting the purposes of the contract, the costs of meeting.

Make a finding that the contractor is in default of the contract.
Utilization goals through additional procurements, the administrative costs of investigation and enforcement, or other factors set forth in the contract.

Terminate the contract.
Exercise rights under the contract to procure goods, services or construction from another.

Declare the contractor to be in breach of contract.
Contractor and charge the cost of such contract to the contractor that has been found to be in non-compliance.

Withhold payment or reimbursement.
Take any other appropriate remedy.

Determine not to renew the contract.
ODIR/ M/WBE Compliance Unit Issues a Non-Compliance Memo to MOCS including shortfall amount.

Modification Process (DDC Deleted Scope of Work)

Should there be a deletion of scope and a modification is submitted, we prepare a Modification Package to be reviewed by oversight agency Mayors Office of Contract Services (MOCS). Please refer to Local Law 1 (pgs. 31-32).

Good Faith Effort Form

Vendors may request a post-award modification if they demonstrate that the goal cannot be met despite their good faith effort to do so. Vendors must use every effort to identify qualified M/WBE firms, as the Mayor’s Office of Contract Services (MOCS) will not approve modification requests until all such efforts have been exhausted and documented. (MOCS Best Practices, pg.17) Download form.